Series 11 - Assistant Representative / Order Processor
The Series 11 examination is required for individuals who wish to accept unsolicited customer orders. These persons typically assist registered representatives (Series 7 or Series 6) in their day-to-day functions. This license is only accepted by FINRA/NASD. FINRA/NYSE member firms must have their sales assistants qualified by passing the Series 7 examination.
Study program for the Series 11 examination covers the following subjects:
Types of Securities
Markets / Order Processing
Eight simulated Final Examinations with detailed explanations complete the program.
(over 400 pages, with over 600 simulated examination questions with detailed explanations)
Designed to complement the Self Study Books, the Series 11 Exam Databank provides a convenient and effective method of testing a student's overall comprehension of the material. This program contains 300 Final Exam questions with detailed answers.
The Series 11 Exam Databank is available in the following versions:
On-line - can be downloaded on up to 3 PC's (not apple/mac compatable)
Web-Based - direct sign on into website from any device, is apple/mac compatable.
CD-Rom - System requirements:
- 3 MB of hard disk space
- Windows 95, 98, Me, NT, 2000 or XP
- 16 MB ram
- color monitor
Self Study Books
Series 11 Exam Databank